Full text of UBS FINANCIAL SERVICES INC.'s X-17A-5 filed 2025-05-29 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  CON S OLIDA TE D S T AT E MEN T O F FCNANC I A L COND ITI ON UBS Financial Services Inc. (a Subsidiary of UBS Americas Inc.) December 3 I, 2024 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL DMB Numher: 323S-0123 Expires: Nov. 301 W,6 Estimated **average** burden hours per response: J 2 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER. | | |------------------|--| | 8-16267 | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and lBa-7 under the s~curities E><change Act of 1934 | | | |-------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|----------------------------------------| | FILING FOR THE PERIOD BEGINNING O 1/01/2024 | | AND ENDING 12/31/2024 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM: UBS Financial Services Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here 1f respondent is also an OTC derivative5 dealer | D Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSll'llESS: (Do not use a P.O. box no.) | | | | 1200 Harbor Boulevard | | | | | | (No. and Street) | | | | Weehawken | NJ | | 07086 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Ralph Mattone | 212-713-9711 | | | | (Name) | (Area Code - Telephone Number) | ([mail Address) | | | | B, ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" | | | | Ernst & Young LLP | | | | | | {Name- if i ndividual, state last, first, and middle nameJ | | | | 395 9th Avenue | New York | NY | 10001 | | (Address) | (City) | (State) | (2ip Code) | | 10/20/2003 | | 42 | | | l"<br>nf Reglmatlon with PCAOBJ(lf applka~e) | | | (PCAOB ReO<tmlnn 11,mbec, If ap~kable} | | | FOR OFFICIAL USE ONLY | | | | | | | | • Claims for exemption from the requirement thz,t the annual reports be covered by the reports of an independent public accountant must be supported t.,y a statem…Read the full text as markdown